JOB DESCRIPTION:

TD Asset Management Inc. is one of Canada’s largest investment management firms offering an ever-expanding suite of investment management solutions.
TDAM’s flexible suite of investment management solutions has been specially designed to meet the needs of institutional investors including pension funds, corporations, endowments, foundations as well as accounts for high net worth and retail investors.
In addition to domestic and global equity, fixed income and alternative products, we also offer cash management, transition management, portable alpha strategies, asset mix rebalancing services and passive currency overlay strategies.

SPECIFIC ACCOUNTABILITIES AS IT RELATED TO PORTFOLIO OVERSIGHT

• Maintain an effective operation of the compliance monitoring systems by developing a solid understanding of the workings of the various internal tools and systems, including Bloomberg AIM,
• Utilize Bloomberg AIM to monitor compliance rules, test for violations and analyze results.
• Oversee the implementation and maintenance of compliance rules
• Gain deep understanding of all regulatory rules and all client specific rules that are applicable for each account/mandate. Ensure all applicable investment restrictions are coded on the relevant compliance monitoring system in an accurate and timely basis (for new mandates) and amended, when required, (for existing mandates).
• Review all new account rule coding being set up in the compliance system prior to PM’s submitting the first trade for Synthetic mandates.
• Ensuring investment breaches are escalated immediately and documented per TDAM’s Error Treatment Policy.
• The candidate will be expected to be current on all US and Canadian investment management regulations, including the Ontario Securities Act rules, the Canadian NI 81-102 conventional and Liquid Alternatives fund rules, the U.S. Investment Companies Act mutual fund rules, the U.S. Adviser’s Act rules.
• Liaise with other internal teams, including Regulatory Policy and Governance (RPG), Product, Portfolio Management, Compliance and Legal to ensure new products are consistent with the regulations and TDAM’s Monitoring Principals.
• Play an education role for TDAM, being the source of expertise in Canadian and U.S. regulatory knowledge as it relates to monitoring.

JOB REQUIREMENTS/ SKILLS/ QUALIFICATIONS

• Ideally, 2+ years’ experience in a similar or pre-post trade compliance related role within a buy-side firm
• Solid understanding of investment strategies, asset types (Equities, Fixed Income and derivatives)
• Proficiency with Bloomberg CMGR and VMGR functions or similar compliance monitoring and rule-coding systems is preferred. Experience in alternative compliance systems is an asset.
• Ability to analyze, interpret and implement both client and regulatory driven investment restrictions to ensure alignment with applicable regulatory rules and to the Firm’s monitoring and portfolio oversight framework.
• Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making
• Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
• Demonstrated ability to work effectively and cross-functionally with employees at all levels and develop effective working relationships
• Highly motivated self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
• Programming and database management experience will be considered an asset.
  * Position will be filled as an Analyst or Associate depending on experience level*
  4 days required in the office

WHO WE ARE:

TD is one of the world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

OVERVIEW OF RESPONSIBILITIES

TDAM has general fiduciary obligations as an asset manager of client money. These obligations require TDAM to have policies and procedures in the areas of portfolio investment guideline monitoring and trading monitoring and oversight.
The Investment Performance & Portfolio Oversight Group of TDAM is responsible for ensuring that all portfolios managed by TDAM are following all applicable regulatory and client investment rules and restrictions. TDAM currently uses the Bloomberg compliance monitoring system to monitor the investment rules and restrictions.
TDAM manages portfolios for Canadian and U.S. clients. As such, the Group requires its employees to have a solid knowledge base in both Canadian and U.S. investment management regulations.
T his knowledge base must also cover the regulatory regimes for all types of investment products managed by TDAM, including mutual funds sold to retail investors as well as segregated accounts and mutual funds sold to institutional investors, including pension plans and endowments.

OVERVIEW OF RESPONSIBILITIES

TDAM has general fiduciary obligations as an asset manager of client money. These obligations require TDAM to have policies and procedures in the areas of portfolio investment guideline monitoring and trading monitoring and oversight.
The Investment Performance & Portfolio Oversight Group of TDAM is responsible for ensuring that all portfolios managed by TDAM are following all applicable regulatory and client investment rules and restrictions. TDAM currently uses the Bloomberg compliance monitoring system to monitor the investment rules and restrictions.
TDAM manages portfolios for Canadian and U.S. clients. As such, the Group requires its employees to have a solid knowledge base in both Canadian and U.S. investment management regulations.
This knowledge base must also cover the regulatory regimes for all types of investment products managed by TDAM, including mutual funds sold to retail investors as well as segregated accounts and mutual funds sold to institutional investors, including pension plans and endowments.